maintain net capital in compliance with the governing law and its inappropriate and insufficient management structure and personnel, Zipmex may be liable to offenses related to client assets, which may
client or beneficial owner. In case the client refused to give personal information or the information are substantially insufficient or not current, or there is https://publish.sec.or.th/nrs/6086pe.doc บท
shareholders? meetings, etc., (2) facilitating businesses? access to necessary information under possession of governmental agencies for the benefit of due diligence and know-your-client assessments (DD/KYC), (3
systems. Subsequently, the company failed to meet the standards on work systems. For example, the systems for custody of client assets and Know Your Customer (KYC) were inconsistent with the standards
information disclosure and risk warnings regarding client asset keeping on their websites and applications. The SEC views that digital asset investors should receive notifications in order to be aware of and
.pdf ethical.doc Relationships: Are there any business relationships between the firm, principals or staff or their family members and the audit client or its affiliates? e.g. joint ventures, joint
investment limit , the intermediary shall undertake the additional acts as follows; (1) apply for an allocation from the investment limit for each client before commencing the service provision. In this regard
investment limit, the intermediary shall undertake the additional acts as follows; (1) apply for an allocation from the investment limit for each client before commencing the service provision. In this regard
that the option to sell the remaining shares shall be exercised upon the confirmation from SBITO that the services provided by the Company are completely transferred and handed over to SBITO. Therefore
the ABOVE 39 condominium project comprised brokerage and registration fees for the transferred of assets right which responsible to pay by the Company, as the Seller. 4. Administrative expenses for the